Our Staff has compiled our research into a database of FINRA Broker Disclosures for Royal Alliance Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Dennis Patrick Lehman | 2019289 | 3 | 06/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 1 | 08/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jagruti D Panwala | 3108690 | 1 | 08/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline P Bennett | 1302822 | 1 | 04/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven B Sanders | 1852994 | 11 | 03/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James E. Armstrong | 4517907 | 1 | 12/04/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Meredith Baker Freeman | 4418577 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raul L Lopez Morales | 2859381 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Richard Hill | 5476417 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Howard Palmer | 1037871 | 1 | 12/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |